Joseph M. Mannon

Shareholder

Joseph M. Mannon is a member of Vedder Price’s Investment Services group.

Mr. Mannon focuses his practice on legal and compliance matters for investment advisers, mutual funds, closed-end funds and unregistered vehicles such as hedge funds, hedge fund of funds and other investment entities. With regard to unregistered vehicles, he frequently counsels clients on fund formation and structuring matters for funds organized both in the United States and abroad. He also counsels clients on issues relating to commodity trading advisers and commodity pool operators.

Mr. Mannon has substantial experience in regulatory and compliance matters affecting investment advisers, including registration and marketing, such as compliance with Global Investment Performance Standards (GIPS), as well as in drafting compliance policies and procedures. He counsels advisers on trading agreements, including brokerage and derivatives agreements. He also conducts mock Securities and Exchange Commission (SEC) examinations and represents clients before the SEC and other regulators in examinations and investigations.

Mr. Mannon also spends significant time counseling registered and unregistered investment company boards.

Prior to rejoining Vedder Price, Mr. Mannon was the Associate General Counsel for one of the world’s largest hedge fund of funds advisers, where he was responsible for legal matters pertaining to various registered and unregistered products, including offering materials and international registration requirements, as well as overseeing the firm’s day-to-day compliance program. Prior to that, Mr. Mannon was an associate in the Investment Services group of Vedder Price.

In 2000, Mr. Mannon served as a judicial extern to the Honorable John W. Darrah, U.S. District Court for the Northern District of Illinois.

From 2001 to 2004, Mr. Mannon served as a staff attorney for the Division of Enforcement of the Securities and Exchange Commission. At the Commission, he litigated federal district court actions and conducted numerous investigations, including complex financial fraud investigations. In addition, Mr. Mannon investigated mutual funds, investment advisers and broker-dealers for violations of the pricing, valuation and books and records requirements of the federal securities laws. Mr. Mannon was awarded the Securities and Exchange Commission Chairman’s Award for Excellence in 2002.

Mr. Mannon is a frequent speaker on investment adviser compliance matters, and from 2008 to 2011 he led the Midwest CCO Compliance Roundtable. In addition, he was selected for inclusion as an Illinois Rising Star by Super Lawyers Magazine in 2013, 2014 and 2016. Mr. Mannon was also ranked in the Legal 500’s Mutual/Registered Funds category in 2014.